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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-12-12
MD RA APPROVED 2016-12-06
  • TX RA
    APPROVED
    Since 2016-12-12
  • MD RA
    APPROVED
    Since 2016-12-06

Branch Locations

225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125 • United States

Owings Mills, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Hunt Valley MD 04/2016 Present
  • 04/2016 → Present
    Rbc Capital Markets
    Hunt Valley, MD
Other Businesses

NAME OF ENTITY: Predators Lacrosse, LLC ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Predators Lacrosse is an elite lacrosse program based out of Westchester, NY CAPACITY: Employee START DATE: 9/1/22 DUTIES: a coach for a lacrosse team. HOURS DEVOTED PER MONTH: 3-5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-06
  • S66 Uniform Combined State Law Examination
    2016-12-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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